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FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2021
22 Sep 2021, 12:35 pm by Silver Law Group
Morgan Securities LLC   Jameson Shin   LPL Financial LLC   Wells Fargo Advisors, LLC   Joseph Stengel   LPL Financial LLC   Pruco Securities, LLC   Philip Zaczek   Valic Financial Advisors, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2021
22 Sep 2021, 9:23 am by Silver Law Group
Morgan Securities LLC   Wells Fargo Advisors, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Sierra Income Corp. to merge with Barings BDC, Inc. (BBDC) 
22 Sep 2021, 8:26 am by The White Law Group
Disappointing Distribution Rate   In August the company elected to extend the suspension of distributions through September 30, 2020, claiming the suspension was in the best interest of the shareholders “during this volatile economic environment. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement July, 2021
22 Sep 2021, 6:54 am by Silver Law Group
  LPL Financial LLC   Bradley Gardner   LPL Financial LLC   Golden State Wealth Management, LLC   Brian O’Neill   Fisher Investments   ProFunds Distributors, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Does the Lanham Act cover a campaign to get a particular job?
20 Sep 2021, 10:04 am by Rebecca Tushnet
Healthcare Integrity, LLC v. [read post]
43(B)log - http://tushnet.blogspot.com/
Integrity Brokerage Services Brokers Joshua Helmle, Marc Jaffe and Andrea Wood Investigation into Alleged Misconduct Leading to Sanctions by FINRA
15 Sep 2021, 1:36 am by Alan Rosca
The suspension will be in effect until December 5, 2021. [read post]
Investor Lawyers News - https://investorlawyers.org/
Integrity Brokerage Services Brokers Joshua Helmle, Marc Jaffe and Andrea Wood Investigation into Alleged Misconduct Leading to Sanctions by FINRA
15 Sep 2021, 1:36 am by Alan Rosca
The suspension will be in effect until December 5, 2021. [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org
Integrity Brokerage Services Brokers Joshua Helmle, Marc Jaffe and Andrea Wood Investigation into Alleged Misconduct Leading to Sanctions by FINRA
15 Sep 2021, 1:36 am by Alan Rosca
The suspension will be in effect until December 5, 2021. [read post]
Investor Lawyers GSP - https://investorlawyers.org/investigations/
Federal Court Concludes That Security Officers Union Lacks Standing To Sue On Behalf Of Its Members For COVID-19-Related Workplace Injuries
14 Sep 2021, 5:17 pm by Seyfarth Shaw LLP
Marshals Service and contractor Centerra Group LLC (“Defendants”), alleging that Defendants failed to implement adequate COVID-19 precautions. [read post]
Workplace Class Action Blog - http://www.workplaceclassaction.com/
Federal Court Concludes That Security Officers Union Lacks Standing To Sue On Behalf Of Its Members For COVID-19-Related Workplace Injuries
14 Sep 2021, 5:17 pm by Seyfarth Shaw LLP
Marshals Service and contractor Centerra Group LLC (“Defendants”), alleging that Defendants failed to implement adequate COVID-19 precautions. [read post]
Workplace Class Action Blog - http://www.workplaceclassaction.com/
Joffre Salazar, Formerly with LPL Financial LLC, Suspended by FINRA – Staten Island, NY
4 Sep 2021, 5:52 am by Iorio Altamirano
 His suspension is scheduled to begin on September 7, 2021, and end on September 6, 2022. [read post]
Iorio Altamirano - https://www.iorioaltamirano.com/blog/
SW Financial Broker, Joseph Lianzo, Suspended by FINRA for Excessively Trading Customers’ Accounts and Placing Unauthorized Trades
3 Sep 2021, 8:03 am by Iorio Altamirano
Lianzo consented to the suspension after FINRA alleged that from March 2016 through November 2019, while associated with Laidlaw & Company (UK) LTD. and SW Financial, Mr. [read post]
Iorio Altamirano - https://www.iorioaltamirano.com/blog/
Sixth Circuit Determines the Term “Suspension of Operations” in Business Interruption Policy Requires “Complete Shutdown of Business Operations” Under Ohio Law
1 Sep 2021, 8:54 am by Christina Gallo
Mengel Dairy Farms LLC arose out of a dispute over coverage between two commercial dairy farmers who manage and care for more than 1,000 cows across farms in Pennsylvania and Ohio, and their business interruption insurer, Hastings Mutual Insurance Co., which insured the farmers’ cows against a number of unlikely […] [read post]
Property Casualty Focus - http://propertycasualtyfocus.com/
Teen Driving Laws in New York City: What Every Teen Driver & Parent Should Know
27 Aug 2021, 4:34 pm by Jay Knispel
Knispel, LLC. [read post]
Injury Blog - http://www.jknylaw.com/injury-blog/
Former Worden Capital Management LLC Broker, Donald Fowler, BARRED by FINRA for Churning and Excessively Trading Four Customers’ Accounts
26 Aug 2021, 8:03 am by Iorio Altamirano
Fowler consented to the suspension after FINRA alleged that from December 2014 through December 2018, while associated with Worden Capital Management LLC, Mr. [read post]
Iorio Altamirano - https://www.iorioaltamirano.com/blog/
Once-in-a-Lifetime Tax Incentive: Employee Retention Credit extended to Q3 and Q4 2021, and expanded for start-ups and struggling businesses.
23 Aug 2021, 6:15 am by Buckingham
Dimengo is Managing Partner of Buckingham, Doolittle & Burroughs, LLC. [read post]
Ohio State Tax Blog - http://ohiostatetaxblog.com/
Debasish Hajra, Formerly of Wells Fargo, Suspended by FINRA – Marietta, Georgia  
20 Aug 2021, 2:28 pm by Iorio Altamirano
Hajra consented to the suspension after FINRA alleged that, while associated with Wells Fargo Clearing Services, LLC in Marietta, GA, Mr. [read post]
Iorio Altamirano - https://www.iorioaltamirano.com/blog/
Silver Law Group Investigating GWG Holdings’ L Bonds
20 Aug 2021, 10:14 am by Silver Law Group
Silver Law Group recently wrote that it was investigating L Bonds offered by GWG Holdings, following GWG’s temporary suspension of sales of L Bonds. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Even a default can't make false claims made to Amazon violate the Lanham Act
19 Aug 2021, 9:37 am by Rebecca Tushnet
Wilco Trading LLC v. [read post]
43(B)log - http://tushnet.blogspot.com/
Did Your Financial Advisor Act As A Trustee Or Beneficiary Of A Will Or Trust?
18 Aug 2021, 6:43 am by Silver Law Group
Summers’ suspension ends on June 30, 2021. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/